0000921895-18-000366.txt : 20180201 0000921895-18-000366.hdr.sgml : 20180201 20180201180035 ACCESSION NUMBER: 0000921895-18-000366 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180130 FILED AS OF DATE: 20180201 DATE AS OF CHANGE: 20180201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lipman Matthew E. CENTRAL INDEX KEY: 0001687758 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21214 FILM NUMBER: 18567976 MAIL ADDRESS: STREET 1: 122 E.42ND STREET SUITE 4305 CITY: NEW YORK STATE: NY ZIP: 10168 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BP Peptides, LLC CENTRAL INDEX KEY: 0001711689 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21214 FILM NUMBER: 18567975 BUSINESS ADDRESS: STREET 1: 122 EAST 42ND STREET STREET 2: SUITE 4305 CITY: NEW YORK STATE: NY ZIP: 10168 BUSINESS PHONE: 212-302-0699 MAIL ADDRESS: STREET 1: 122 EAST 42ND STREET STREET 2: SUITE 4305 CITY: NEW YORK STATE: NY ZIP: 10168 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Capstone Therapeutics Corp. CENTRAL INDEX KEY: 0000887151 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 860585310 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1275 WEST WASHINGTON STREET STREET 2: SUITE 101 CITY: TEMPE STATE: AZ ZIP: 85281 BUSINESS PHONE: 6022865520 MAIL ADDRESS: STREET 1: 1275 WEST WASHINGTON STREET STREET 2: SUITE 101 CITY: TEMPE STATE: AZ ZIP: 85281 FORMER COMPANY: FORMER CONFORMED NAME: ORTHOLOGIC CORP DATE OF NAME CHANGE: 19940211 4 1 form410959006_02012018.xml OWNERSHIP DOCUMENT X0306 4 2018-01-30 0 0000887151 Capstone Therapeutics Corp. CAPS 0001687758 Lipman Matthew E. 122 E.42ND STREET SUITE 4305 NEW YORK NY 10168 1 0 1 0 0001711689 BP Peptides, LLC 122 EAST 42ND STREET SUITE 4305 NEW YORK NY 10168 1 0 1 0 Common Stock, $0.0005 par value 18541197 I By: BP Peptides, LLC Warrant (Right to Buy) 0.075 2018-01-30 4 J 0 1 A 2025-10-15 Common Stock, $0.0005 par value 6321930 1 I By: BP Peptides, LLC This Form 4 is filed jointly by BP Peptides, LLC ("BP Peptides") and Matthew E. Lipman (collectively, the "Reporting Persons"). Mr. Lipman is a director of the Issuer. BP Peptides may be deemed to be a director by deputization by virtue of the fact that Mr. Lipman, the Manager and President of BP Peptides, is a director of the Issuer. Represents securities owned directly by BP Peptides. As the Manager and President of BP Peptides, Mr. Lipman may be deemed to beneficially own the securities owned directly by BP Peptides. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. The Warrant was issued by the Issuer to BP Peptides in consideration of BP Peptides' agreement to defer all accrued but unpaid interest due under its loan to the Issuer until October 15, 2020 (the "Maturity Date"). The Warrant vests quarterly in accordance with Schedule 1 thereto and will be fully vested on the Maturity Date; provided, however, that in the event of a Deferred Interest Repayment (as defined in the Warrant), then all vesting shall immediately terminate and lapse as to any Warrant shares that have not yet vested and none of such Warrant shares shall become vested. In no event may the Warrant be exercised if and to the extent that such exercise would be inconsistent with or constitute a violation of the Issuer's Tax Benefit Preservation Plan. By: /s/ Matthew E. Lipman 2018-02-01 By: BP Peptides, LLC, By: /s/ Matthew E. Lipman, Manager and President 2018-02-01